Change in Effort or Status of Principal Investigator or Other Key Personnel
Steve Martin, Associate Vice President for Research
It is the policy of Indiana University that any change in status or effort of the Principal Investigator (PI) or other Key Personnel is in compliance with the sponsor’s guidelines and University policy. The PI, further, has the responsibility for initiating notification of any such change and all notifications should be routed to the Office of Research Administration (ORA) for review and transmission to the sponsor. In those cases where the PI, due to the reasons for the change in status or effort, is unable to initiate such notification, the academic unit or responsibility center has the responsibility to notify ORA.
To establish guidelines and best practices for the timely notification of the change in effort or status of a Principal Investigator or other Key Personnel on a sponsored program and to permit the University to fulfill its obligations to the sponsor and for the responsible conduct of research.
As grant recipient, Indiana University has the responsibility to notify sponsors of significant changes from the proposed PI or key personnel effort devoted to a project. Although the actual requirement may vary depending on the sponsor, normally a change of 25% or more from the committed effort of the PI or other key personnel on the proposal requires notification of the sponsor. The PI has the responsibility for initiating such notification and all notifications should be routed to ORA for review, approval, and transmission to the sponsor.
Sponsor notification and approval is normally required in the following instances:
Principal Investigator: The Principal Investigator is the individual designated by the grantee, and approved by the sponsoring agency, who will be responsible for the scientific or technical direction of the project.
Key Personnel: The PI and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the grant. Typically these individuals have doctoral or other professional degrees, although individuals at the masters or baccalaureate level may be considered key personnel if their involvement meets this definition. Consultants also may be considered key personnel if they meet this definition. "Zero percent" effort or "as needed" is not an acceptable level of involvement for key personnel.
Sponsored Program: Any activity that receives funding from outside the University. Sponsored projects may also be known as sponsored programs or sponsored agreements.